SVP, Head of U.S. Registered Funds and Disclosure

The Opportunity

The Senior Vice President, Head of U.S. Registered Funds and Disclosure serves as the principal legal advisor for State Street Investment Management's U.S. registered fund platform, including all U.S. exchange traded funds (ETFs), U.S. mutual funds, and related investment products. Reporting directly to the Chief Legal Officer for State Street Investment Management, this role provides strategic legal leadership across product development, fund governance, distribution initiatives, disclosure, regulatory filings, and business growth priorities.

The position acts as a trusted advisor to senior executives, fund boards, product and investment leaders, distribution leadership, Compliance, Risk, Operations, and other key stakeholders. It combines sophisticated legal advisory responsibilities with leadership of the U.S. registered fund disclosure and regulatory filings program, including its continued modernization, governance, and transformation.

This role requires an accomplished legal executive with deep expertise in U.S. registered investment companies, exceptional judgment, strong commercial acumen, and the ability to translate complex legal and regulatory requirements into practical guidance that supports innovation, growth, and prudent risk management.

What You Will Be Responsible For

Strategic Legal Leadership

• Serve as the senior legal advisor for SSIM's U.S. registered fund business, including all U.S. ETFs, U.S. mutual funds, and related investment products.
• Provide commercially practical and risk-sensitive counsel to senior management on strategic initiatives, business expansion, product innovation, and organizational transformation.
• Advise leadership on emerging legal, regulatory, governance, and industry developments affecting the U.S. asset management business.
• Represent SSIM Legal in governance forums and executive discussions involving registered funds, product development, disclosure oversight, and distribution activities.
• Collaborate across SSIM and State Street to deliver coordinated legal advice that supports business strategies and client relationships.

U.S. Registered Funds Legal Advisory

• Lead and manage legal support for the U.S. registered fund platform, including U.S. ETF and U.S. mutual fund products.
• Provide counsel on fund formation, product development, registration, operation, governance, and lifecycle management.
• Advise on fund board matters, independent trustee engagement, governance frameworks, fiduciary obligations, and regulatory requirements.
• Interpret and apply applicable federal securities laws, SEC regulations, staff guidance, and relevant industry practices.
• Support innovative product structures, investment strategies, and market opportunities while maintaining strong legal and regulatory standards.

Distribution, Strategic Partnerships and Commercial Support

• Lead legal support for U.S. intermediary and wealth distribution activities.
• Advise on the U.S. model portfolio business and associated distribution, product, and commercial considerations.
• Counsel strategic partnerships, distribution arrangements, platform relationships, and commercial initiatives supporting U.S. wealth and intermediary businesses.
• Structure, negotiate, and advise on significant commercial arrangements and related risk allocation.
• Provide legal guidance on sales practices, investor communications, advertising, and marketing activities involving registered fund products.

Index Licensing and Marketing Oversight

• Lead legal advice for U.S. registered fund index licensing arrangements.
• Structure, negotiate, and oversee index licensing agreements and related commercial relationships.
• Provide legal leadership for the U.S. registered fund marketing program.
• Advise on marketing materials, product communications, performance presentations, and applicable disclosure requirements.

Disclosure, Regulatory Filings and Transformation

• Lead the U.S. registered fund disclosure and regulatory filings program, with accountability for accuracy, consistency, timeliness, and compliance across the platform.
• Oversee legal review of registration statements, prospectuses, statements of additional information, shareholder reports, proxy materials, and other regulatory filings and disclosures.
• Drive modernization and transformation initiatives that improve the effectiveness, efficiency, scalability, and governance of disclosure and regulatory filing processes.
• Establish and maintain robust controls, governance frameworks, accountability, and operating practices supporting disclosure production and regulatory compliance.
• Use technology, process improvement, and cross-functional partnership to enhance disclosure capabilities and investor communications.

Regulatory Engagement and Governance

• Monitor legal and regulatory developments affecting registered investment companies, ETFs, mutual funds, distribution, marketing, and disclosure requirements.
• Partner with Compliance, Risk, Regulatory Affairs, Operations, and other stakeholders to assess emerging risks and implement appropriate mitigation strategies.
• Support regulatory examinations, inquiries, inspections, enforcement matters, and other interactions with regulators.
• Proactively identify, escalate, and help remediate material legal, fiduciary, operational, and reputational risks.
• Promote strong controls, transparent reporting, and a culture of sound judgment and accountability.

Leadership and Talent Development

• Lead, mentor, and develop a high-performing team of attorneys and legal professionals supporting the U.S. registered fund business.
• Create clarity of roles, priorities, and accountability while promoting collaboration, inclusion, development, and high-quality execution.
• Contribute to the strategy, leadership, and professional development of the broader SSIM Legal organization.
• Manage outside counsel relationships, budgets, and legal resources to ensure high-quality and cost-effective support.
• Serve as a visible leader within SSIM, the Legal Department, and the broader firm.
  
  

Education and Preferred Qualifications

Education and Experience

• Juris Doctor degree and admission to practice law in at least one U.S. jurisdiction.
• Minimum 15 years of legal experience in asset management, investment funds, financial services, or a major law firm advising asset management clients.
• Significant experience supporting U.S. registered investment companies, including ETFs and mutual funds.
• Deep knowledge of the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related SEC rules and guidance.
• Demonstrated experience advising senior executives on complex legal, regulatory, governance, and commercial matters.

Leadership Capabilities

• Proven ability to lead, manage and develop legal teams in a complex, highly regulated, and fast-paced environment.
• Exceptional judgment and the ability to balance legal and regulatory risk with strategic and commercial objectives.
• Strong executive presence and the ability to influence senior stakeholders across business, legal, and control functions.
• Superior communication, drafting, negotiation, and relationship-management skills.
• Demonstrated success leading transformation, process improvement, and organizational change.

Preferred Qualifications

• Experience supporting a large-scale ETF and mutual fund platform.
• Experience working directly with U.S. registered fund boards and independent trustees.
• Familiarity with intermediary distribution, wealth platforms, model portfolio products, and index licensing arrangements.
• Experience leading disclosure operations, regulatory filings, and related governance frameworks within a complex asset management organization.

Salary Range:

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

For a full overview, visit https://hrportal.ehr.com/statestreet/Home.

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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